About Morgan Stanley
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
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Department
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Equities, Fixed Income and Commodities), Investment Banking, Research, and Investment Management across the EMEA region as well as the supporting control functions.
Team Profile
The EMEA Non-Financial Risk (NFR) Testing Team provides independent oversight activities performed to assess the Firm's overall control framework related to Compliance and Operational Risk. The EMEA NFR Testing Team covers all businesses as well as controls and processes owned and operated by supporting control functions, including but not limited to Operations, Technology, Compliance, HR, Finance.
What will you be doing?
> This role will involve leading and developing the EMEA NFR Team in Glasgow and the candidate will report into the EMEA Head of NFR Testing based in London, providing day-to-day management and oversight of the NFR Testing Team in Glasgow, including quality assurance review of testing deliverables.
> The candidate will design and execute a portfolio of NFR Tests across business units in EMEA and, where required, globally. This execution-based role will involve working closely with Compliance and Operational Risk coverage teams as well as business unit stakeholders.
> The role will include the following components of Testing:
> Executing control focused testing (design effectiveness, operational effectiveness and outcomes based)
> Coordinating the investigation and escalation of potential issues and documentation of agreed action plans
> Managing closure verification of actions, including the assessment of evidence to support closure
> Supporting aspects of NFR Testing Management Information
> The candidate will work closely with EMEA NFR Testing colleagues based in London, Frankfurt and Mumbai and, where required, colleagues from other Global Testing Teams.
What we're looking for:
> The candidate will have over 7 years regulatory compliance testing, monitoring, assurance of audit experience at a financial institution; Investment Banking or Sales and Trading experience is preferred.
> Familiarity with European and specifically UK compliance issues and interpreting relevant law and regulation.
> The candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organisational skills and be an accomplished team player.
> University degree or equivalent and/or professionally qualified, e.g. in law or accountancy, with relevant years of experience of working in Compliance within the financial services industry (desirable).
Where will you be working?
This role is based in 122 Waterloo Street, Glasgow.
Flexible work statement:
The role will require the individual to work from the office three days a week.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
We're committed to bringing passion and customer focus to the business.
Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.